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Independent Financial Group, LLC CRD 7717
$12.9B regulatory AUM 301 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-22 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Houston | TX | 01/2013 | 03/2018 |
| Raymond James Financial Services, Inc. | Kemah | TX | 03/2018 | 01/2019 |
| Raymond James Financial Services Advisors Inc. | Kemah | TX | 04/2018 | 01/2019 |
| Morgan Stanley | Houston | TX | 10/2019 | 01/2026 |
| Unemployed | Houston | TX | 01/2019 | 10/2019 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 10/2019 | 01/2026 |
| Independent Financial Group, Llc | Houston | TX | 01/2026 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2019 | 01/2026 |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2019 | 01/2026 |
JAMES E. BASHAW & CO POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 11/15/2025 ADDRESS: 5701 Woodway Drive #330, Houston TX 77057, United States DESCRIPTION: Serve as Series 7/66 registered rep
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1990-05-22 |
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